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Administrative Law Judge Initial Decisions for 2009 and 2010

January 2009 - December 2010

This file contains the respondents, release number, release date, and the url of the initial decisions issued by administrative law judges that contains findings of fact, legal conclusions, and an order that often contains a sanction. These initial decisions follow hearings on allegations of securities law violations initiated in most cases by the Commission’s Division of Enforcement.

This file contains the following data fields:

Field Name Field Description
url Location of the initial decision on the SEC web site
release_number Release Number of the initial decision
release_date Release Date of the initial decision
respondents Respondents of the initial decision

Data Downloads

Associated Data Distribution Table

File: 2010 Format:XML Size:5.92 KB
File: 2009 Format:XML Size:10.37 KB
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